DFX Intelligence

Data Factory

B••• S•• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

B••• S•• A•••• M••••••••• L••

CRD 167686

ENGLEWOOD, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:55e2ead7-5447-26f6-b633-98f2dc085473

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Apr 26, 2013 to Mar 30, 2026
31 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $98.6M••• Locked
Discretionary RAUM: $98.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $98.6Mderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• C•••••• H•••••••• L••	Owner	E	yes	05/2013	Apr 26, 2013	Mar 13, 2024
T•••••• K•••• E••••••	Member	E	yes	02/2011	Apr 26, 2013	Mar 13, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• C•••••• P•••••••• L••	n/a	Former SEC adviser	$1.6B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$98.6M	$0	n/a	n/a	n/a	1	1	0	0

Relationships

Affiliated with (3)

→ A••• C•••••• P•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← A••• C•••••• P•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← AXCENT PRIVATE CAPITAL, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (1)

← K••• E•••••• T•••••

Dated events

Occurred
Mar 27, 2019
Regulatory AUM changed
B••• S•• A•••• M••••••••• L•• reported RAUM $270.4M, down 43% from $470.4M (2018-11-30 to 2019-03-27)
Form ADVobserved 7 days ago
$-200M
Occurred
Mar 27, 2019
Control person left
Mark David Varadi (Director Of Research) no longer on Schedule A of B••• S•• A•••• M••••••••• L•• (listed 2018-11-30, absent 2019-03-27)
Form ADVobserved 7 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
B••• S•• A•••• M••••••••• L•• reported RAUM $470.4M, up 154% from $185.1M (2017-03-23 to 2018-03-29)
Form ADVobserved 7 days ago
$285M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55e2ead7-5447-26f6-b633-98f2dc085473
First observed: Apr 26, 2013
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.